Compliance Product Sr Officer I (SVP) – Transaction Conflicts Advisory

Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. . In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply ICRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures.

Responsibilities:

• Provide guidance and support to facilitate conflict clearance process

• Evaluate and review potential transactions to ensure all relevant information is reviewed

• Serve as Conflict Clearance team’s primary contact

• Communicate with legal and Business Selection to ensure timely and accurate clearances

• Analyze firm’s touchpoints to determine potential conflicts of interest

• Make recommendations for enhancements to improve overall deliverables

• Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs.

• Serving as a subject matter expert on Citi’s Compliance programs. Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk.

• Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.

• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product.

• Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact.

• Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge.

• Participating in industry groups and trade association working groups or other forums.

• Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements.

• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit.

• Designing and lead compliance and control reviews.

• Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.

• Additional duties as assigned.

• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• Expertise of Compliance laws, rules, regulations, risks and typologies;

• Experience working in Capital Markets or other Investment Banking roles with experience on transactions and deal making strongly preferred

• Experience working in a Control Group setting that covered Investment Banking transactions strongly preferred

• Excellent written, verbal and analytical skills

• Must be a self-starter, flexible, innovative and adaptive;

• Highly motivated, strong attention to detail, team oriented, organized

• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging

• Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level

• Experience in managing regulatory exams and relationships with examiners, auditors, etc.

• Awareness of regulatory requirements including local and U